GS

SEC source: 0000769993-17-000795 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

LEE BRIAN J · CIK 0001698554 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,629

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000795 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

LEE BRIAN J · CIK 0001698554 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,389

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000797 · ownershipdoc12262017044029.xml · derivative · entry 5

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 25,982 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000797 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 938,527

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000797 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 953,029

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000799 · ownershipdoc12262017044029.xml · derivative · entry 4

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 28,449 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000799 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,760

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000799 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,430

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000801 · ownershipdoc12262017044029.xml · derivative · entry 4

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 66,079 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000801 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,328

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000801 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,212

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · derivative · entry 4

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 27,481 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,690

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000803 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

SCHWARTZ HARVEY M · CIK 0001566418 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,028

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000805 · ownershipdoc12262017044029.xml · derivative · entry 4

SMITH SARAH G · CIK 0001090335 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 28,005 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000805 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

SMITH SARAH G · CIK 0001090335 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,846

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000805 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,477

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000807 · ownershipdoc12262017044029.xml · derivative · entry 6

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 67,167 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.exercise_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

F1 · derivative.expiration_date: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000807 · ownershipdoc12262017044029.xml · nonDerivative · entry 2

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,270

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-17-000807 · ownershipdoc12262017044029.xml · nonDerivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,761

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 28, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2017 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2017 compensation. The shares were scheduled to be delivered in January 2018; however, the Board of Directors of the Issuer, in its sole discretion, determined to make this delivery in December 2017 due to changes in U.S. tax law and the associated tax savings to the Issuer that resulted from making the delivery prior to year-end.

SEC source: 0000769993-17-000809 · ownershipdoc12132017103128.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 710,925

SEC source: 0000769993-17-000761 · ownershipdoc11202017044716.xml · derivative · entry 7

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,000

Underlying: Common Stock, par value $0.01 per share · 42,987 shares

Expires 2018-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.

SEC source: 0000769993-17-000761 · ownershipdoc11202017044716.xml · nonDerivative · entry 3

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,594

F3 · price: Reflects a weighted average sale price of $237.9423 per share, at prices ranging from $237.86 to $238.07 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-17-000761 · ownershipdoc11202017044716.xml · nonDerivative · entry 2

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,301

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000761 · ownershipdoc11202017044716.xml · nonDerivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,581

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.

SEC source: 0000769993-17-000759 · ownershipdoc11202017044716.xml · derivative · entry 6

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,912

Underlying: Common Stock, par value $0.01 per share · 34,956 shares

Expires 2018-12-31

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.

SEC source: 0000769993-17-000759 · ownershipdoc11202017044716.xml · nonDerivative · entry 4

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 71,281

F4 · price: Reflects a weighted average sale price of $238.0114 per share, at prices ranging from $238 to $238.21 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Held through a limited liability company.

SEC source: 0000769993-17-000759 · ownershipdoc11202017044716.xml · nonDerivative · entry 3

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,047

F3 · price: Reflects a weighted average sale price of $237.8229 per share, at prices ranging from $237.785 to $238.22 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-17-000759 · ownershipdoc11202017044716.xml · nonDerivative · entry 2

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937,381

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000759 · ownershipdoc11202017044716.xml · nonDerivative · entry 1

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962,003

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.

SEC source: 0000769993-17-000745 · ownershipdoc11132017034104.xml · derivative · entry 12

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 161,052 shares

Expires 2017-11-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-17-000745 · ownershipdoc11132017034104.xml · nonDerivative · entry 8

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,231,654

F6 · price: Reflects a weighted average sale price of $239.1047 per share, at prices ranging from $238.99 to $239.28 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-17-000745 · ownershipdoc11132017034104.xml · nonDerivative · entry 7

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,234,289

F5 · price: Reflects a weighted average sale price of $238.6492 per share, at prices ranging from $237.99 to $238.97 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-17-000745 · ownershipdoc11132017034104.xml · nonDerivative · entry 6

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,242,132

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000745 · ownershipdoc11132017034104.xml · nonDerivative · entry 5

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,392,706

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-17-000747 · ownershipdoc11132017034104.xml · derivative · entry 8

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 36,920 shares

Expires 2017-11-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-17-000747 · ownershipdoc11132017034104.xml · nonDerivative · entry 6

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,153

SEC source: 0000769993-17-000747 · ownershipdoc11132017034104.xml · nonDerivative · entry 5

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,034

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000747 · ownershipdoc11132017034104.xml · nonDerivative · entry 4

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,073

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-17-000749 · ownershipdoc11202017044716.xml · derivative · entry 10

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 35,786 shares

Expires 2017-11-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-17-000749 · ownershipdoc11202017044716.xml · nonDerivative · entry 6

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,047

SEC source: 0000769993-17-000749 · ownershipdoc11202017044716.xml · nonDerivative · entry 5

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 929,375

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000749 · ownershipdoc11202017044716.xml · nonDerivative · entry 4

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962,833

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-17-000751 · ownershipdoc11202017044716.xml · derivative · entry 11

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 47,282 shares

Expires 2017-11-24

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000769993-17-000751 · ownershipdoc11202017044716.xml · nonDerivative · entry 6

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,594

SEC source: 0000769993-17-000751 · ownershipdoc11202017044716.xml · nonDerivative · entry 5

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,670

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000751 · ownershipdoc11202017044716.xml · nonDerivative · entry 4

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,876

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017. This transaction was automatically triggered pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person, without any additional action taken by the Reporting Person.

SEC source: 0000769993-17-000753 · ownershipdoc11202017044716.xml · nonDerivative · entry 2

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 12,433

F1 · price: Reflects a weighted average sale price of $238.0085 per share, at prices ranging from $238.00 to $238.19 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.

SEC source: 0000769993-17-000753 · ownershipdoc11202017044716.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,981

F1 · price: Reflects a weighted average sale price of $238.0085 per share, at prices ranging from $238.00 to $238.19 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-17-000755 · ownershipdoc11202017044716.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 719,925

F1 · price: Reflects a weighted average sale price of $238.0203 per share, at prices ranging from $237.87 to $238.18 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.